Entering an Electronic Proposal Routing Approval Form (epraf) Overview Understanding PantherSoft Proposals... 3

Transcription

1 Entering an Electronic Proposal Routing Approval Form (epraf) Training Guide Contents Overview... 2 Understanding PantherSoft Proposals... 3 Proposal Internal Clearance... 3 Proposal Information... 3 Proposal Type... 5 Sponsor Information... 7 Contact Information... 8 Proposal Questions Section... 9 Project Team Information Department Credit Information Project Space Information Budget Header F&A and Pricing Information Requested Budget Attachments Proposal Routing FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 1

2 Overview All proposals to external sponsors for projects that will involve University faculty and/or staff must be reviewed and approved by the Office of Research & Economic Development (ORED) for compliance with federal and state statutes and regulations as well as sponsor and FIU guidelines, policies and procedures prior to forwarding the proposal to the prospective sponsor. Proposals may not be submitted to the sponsor absent ORED approval. In alignment with the goals of the Office of Research & Economic Development to enable the University s researchers to focus more of their time and resources on the programmatic aspects of their applications during the proposal process, the Electronic Proposal Routing Approval Form (epraf) has been implemented. The epraf allows the electronic routing of proposals throughout the entire review and approval process from the PI / Co-PIs, to the Chair, Dean and ORED. The Office of Pre-Award, within ORED, is the unit within the university that will assist faculty and staff with their proposal submissions. In order for Pre-Award to review and approve the proposal, it must be entered and routed using the epraf. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 2

3 Understanding PantherSoft Proposals A proposal in PeopleSoft Grants consists of a statement of work, research plans, technical reports, and a proposal budget, as well as administrative, personnel, and submission information that is required by external funding agencies. Each proposal requires at least one project. You can, however; have multiple projects within a single proposal. After establishing basic setup information in PeopleSoft Grants, you can enter data concerning proposals and projects, structure proposal budgets, work with research plans of Principle Investigators (PIs), and submit proposals to sponsors. The proposal pages help you: Track the development, verification, and submission status of proposals to sponsors. Gather and organize proposal data. Facilitate the administration of proposals, awards, and forms. Proposal Internal Clearance Proposal Information 1. Click on the Add button. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 3

4 Critical Fields in the epraf: Proposal Information Proposal Title Enter the actual title of the proposal as it is listed on the sponsor s application. Layman s Proposal Description Enter a brief description geared towards the general public about the proposed project. Opportunity Number Enter the opportunity number as it is listed on the solicitation. Proposal Type Select the correct proposal type See Proposal Type Section for specific definitions and actions. Grant Type Select the correct grant type. The grant types available are as listed below. Select the most appropriate category. APRES - Applied Research BARES - Basic Research CLIN - Clinical Trial COMM - Community Service DVRES - Development Research EQUIP - Equipment FELLO - Fellowship IND - Investigational New Drug INT - Internal CFDA When applicable, enter the federal CFDA number listed on the proposal. This is the Catalog of Federal Domestic Assistance (CFDA) number which helps the Federal Government track all programs it has domestically funded. Federal programs are assigned a CFDA number. ##.###: CFDA number taken from RFP or guidelines (including Federal Flow Through) ##.UKN: On a rare occasion, the federal sponsor may be unable to provide a CFDA #. In this case, assign an UKN CFDA # for the agency in order to accommodate this federal requirement. There has been one unknown CFDA # created for each federal agency. Example: Dept. of Agriculture = 10.UKN N/A: Private Funding (Non-Federal & Non-Federal Flow Through Companies/ Colleges/ State/ Local/ Foundations etc...) Proposal Deadline Select the correct deadline type. Deadline Date Enter the deadline date for the proposal. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 4

5 Project Begin Date Enter the project begin date. Project End Date Enter the project end date. Summary Periods Enter the number of summary periods for this proposal. 2. Click the Build Periods button to populate the Budget Periods section below. Proposal Type Proposal Type Competing Renewal New Proposal Non-Competing Continuation Proposal Information Comments These types of proposals are requests for continued support for an existing project that is about to terminate, and, from the sponsor s viewpoint, generally have the same status as an unsolicited proposal. Competing continuation proposals compete with other competing continuation, competing supplemental, and new proposals for funds. A new epraf is required for Competing Renewal. A new proposal that is not associated with an existing proposal or award. A new epraf is required for all New Proposals This is a request for financial assistance for a second or subsequent budget period within a previously approved project period. This type of proposal confirms the original proposal and funding requirements of the multiyear project. Continued support is usually contingent on satisfactory work progress, as verified in a required report, and the availability of funds. An epraf is NOT required and any documentation associated with a Non-Competing Continuation should be loaded to ImageNow. ***Documentation should NOT be attached to the exising proposal and data within the exising epraf should NOT be modified. Preliminary Proposal This type of proposal is requested when a sponsor wishes to minimize an applicant s effort in preparing a full proposal. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 5

6 They are usually in the form of a letter of intent or a brief abstract of what the PI plans to do, how the PI will conduct the project and why this project has merit. A pre-proposal establishes a foundation for discussion; it does not commit the PI or the University to anything. However, since these proposals often do become the basis for negotiation for funding, if a budget is included in the submission, an epraf will need to be submitted with the proposal type Preliminary Proposal. Resubmission An unfunded application that has been modified following initial review and resubmitted for new consideration. A new epraf is required with revised documentation attached and a new Proposal ID generated. Supplemental A request for additional funds either for the current operating year or for any future year recommended previously. When this type is selected, the associated award/proposal field appers. A new epraf is required for supplemental submissions. Enter the Associated Award/Proposal ID in the Associated Award/Proposal Field. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 6

7 Sponsor Information Critical fields in the Sponsor section: Sponsor ID Sponsor Information Select the Sponsor from the list provided. If the Sponsor ID is not found, please select Sponsor # TBD. Enter any relevant information including name and address associated with the sponsor. If the Sponsor has not been setup in the PantherSoft System, fill out the Sponsor Request Form and forward to the Budget and Cost Analysis (BCA) area for setup. Is this a subcontract? Phone If this is a Flow Through, select Yes and enter the originating sponsor information. N/A Example: We submit the proposal to UF who is submitting to the NIH. Sponsor is UF and Prime is NIH. If a Phone number is associated to the Sponsor and/or Subcontract, this field will automatically be populated upon the selection of the Sponsor and/or Subcontract Fax N/A If a Fax number is associated to the Sponsor and/or Subcontract, this field will automatically be populated upon the selection of the Sponsor and/or Subcontract FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 7

8 Contact Information Critical fields in the Contact section: Contact Information Principal Investigator Select the Principal Investigator. If there are multiple PIs associated with this proposal, enter the information for the main PI. PI and PI Department will be automatically populated once a PI is selected. If the PI is currently not listed, please select Employee ID Investigator, T.B.D. PI N/A This field will automatically populate once a Principal Investigator is selected PI Department Department Administrator N/A If applicable, select the department administrator. This field will automatically populate once a Principal Investigator is selected. The Department listed is the department listed as the PI s primary funding department in the PantherSoft HR system and can not be updated. DA will be automatically populated once an Administrator is selected. PreAward Coordinator No Action Required This field will be populated by the Pre-Award representative. Proposal Comments Enter any additional comments related to the proposal. This field is optional. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 8

9 Proposal Questions Section The questions listed in this section pertain to the nature and details of the actual proposal and MUST be answered. If the following questions have been answered Yes, additional information is required: Proposal Additional Information Question No. Question Text Comment 3 Will this proposal span across multiple colleges? If so, please check 'Yes' and indicate F&A percentage split between colleges in the comment box. Enter the F&A percentage split each college should receive. Example: CAS: 50%, ENG: 50% 13 Will any part of this project involve work outside the United States? If 'Yes', please identify countries. A country MUST be entered if this question has been answered YES. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 9

10 Once all the questions have been answered, click on the Goto Projects link, which is located at the bottom left of the screen. Project Team Information Critical fields in the Proposed Projects section: Project ID Project Team Information The Project ID will be automatically generated by the system. Click on the to insert additional Project ID s If there are multiple projects, a primary project must be indicated by selecting the checkbox marked primary. Project Title Enter a Project Title There may only be one 'primary' project per proposal. This value is automatically derived from the Proposal Title. If the project title is different than the proposal title, this value should be changed accordingly. To avoid any issues when adding project team members, you MUST save the epraf by clicking the Save Icon which is located on the top left portion of the screen prior to entering team members. The PI will be automatically populated based on the information entered in the proposal page of the epraf. Each project MUST have one and only one Principal Investigator. The employee Role for the PI must be Principal Investigator. Please note that for Multiple PI projects the PI listed will be the Contact PI. The other PIs should be listed as Co-PIs. Additional team members can be added by clicking on the plus sign within the project team section. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 10

11 Critical fields in the Proposed Team section: Project Team Information Empl ID Employee Name Click on the icon to select the Employee ID associated with the team member No Action Required The Employee ID will be automatically entered when an employee is selected. This value is automatically populated once the Employee ID is selected. Employee Role Click on the to select the employee role Principal Investigator must be selected as the PI role. There may be one and only one PI per project. Department ID and Description No Action Required This value is automatically populated once the Employee ID is selected. Verify that the Department ID and Department Description are accurate. % Effort Enter the % effort Enter the percentage of effort that the Principal Investigator and other personnel intend to commit to the project. Additional Team Team Member Click the plus sign to add additional team members Special Tips Regarding the Project Team Section Very Important Always save your proposal before you begin working with the Project Team Always add & save all project team members BEFORE you delete members. You MUST have one and only one Principal Investigator on each project team. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 11

12 Department Credit Information Critical fields in the Department Credit section: Primary Checkbox Department Credit Information Each project must have one and only one Primary Department This field represents the Department which will be receiving primary credit for this proposal. Department ID Click on the to select the department id Description Additioanl Departments No Action Required Click the plus sign departments to add Verify the Department ID is accurate This field is automatically populated based upon the Department ID which is selected Project Space Information FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 12

13 Critical fields in the Space Required section: The Campus, Building and Room fields are required prior to an epraf being saved. Campus Project Space Information Select the campus where the project will take place. This field is REQUIRED, if the project will take place at an off-site location or a location that does not exist in the system, please enter the Principal Investigator s main office and/or the office of any other individual associated with this proposal and then use the fields located below for the off campus location(s). Building Room Select the building where the project will take place. Select the room where the project will take place. This field is REQUIRED, if the project will take place at an off-site location or a location that does not exist in the system, please enter the Principal Investigator s main office and/or the office of any other individual associated with this proposal and then use the fields located below for the off campus location(s). This field is REQUIRED, if the project will take place at an off-site location or a location that does not exist in the system, please enter the Principal Investigator s main office and/or the office of any other individual associated with this proposal and then use the fields located below for the off campus location(s). The remaining fields and questions regarding space are required and should be answered. Any comments should be included in the applicable message box. Budget Header The budget represents an integral part of a research proposal. It captures budget line details and provides access to data such as the annual salaries, fringe rates, and F&A (Facilities and Administration) rates. The Budget Header contains two sections: F&A and Pricing Information Budget Details FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 13

14 F&A and Pricing Information 1. Click the F & A and Pricing Setup link located within the Budget Header section. Critical fields in the F&A and Pricing section: F&A and Pricing Information Rate Type Select the appropriate rate type. A Rate Type must be entered. If the project does not have F&A, select NOFNA. FA Rate ID NOFNA OFCTR OFFC OFOSP ONC ONCTR ONOSP F&A Base System Description No F&A Calculated Off Campus Instruction Off Campus Research Off Campus Other Sponsored Activity On Campus Research On Campus Intruction On Campus Other Sponsored Activity FA Base The FA Base will default to MTDC5 >7/1/2011. OCO > 5K. Verify that this is the correct base and update if needed. There are several bases available. Select the appropriate base that is listed on the proposal documents: F&A Base Name MTDC F&A Base System Description <7/1/11. OCO > 1K MTDC1 TRNG <7/1/11. OCO > 1K MTDC5 >7/1/11. OCO > 5K MTDC6 TRNG >7/1/11. OCO > 5K FA Rate% Enter the appropriate FA Rate % A value MUST be entered in this field. If the project does not have F&A, enter 0. Note: If project does not have F&A, select NOFNA. MTDC1 used when fringe benefits also excluded from MTDC. This value will come from the proposal documentation. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 14

15 1. Click the Save & Return to Projects link located at the bottom of the page. 2. Select the appropriate Budget Period Detail link to enter budget information Requested Budget Enter budget amounts by category as per the FIU Internal Budget Sheet Level 3 Tab. The Budget and F&A values will automatically update once the Save & Return to Projects link is selected. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 15

16 Critical fields in the Budget Detail section: Budget Detail Information A default collection of Budget Items/Descriptions is listed on the budget details page. Budget Item / Description Enter the budget items listed in the budget sheet. Any line item that is not needed may be removed by selecting the sign. To add additional items, select the sign. Total Direct Budget Enter the amount listed on the budget sheet Sponsor F&A No Action Required You will not be able to see total budget until you click on Save & Return to Projects. F&A and direct costs will be automatically calculated and you should be able to see amounts once you enter Budget Detail s page again. Total Budget No Action Required You will not be able to see total budget until you click on Save & Return to Projects. F&A and direct costs will be automatically calculated and you should be able to see amounts once you enter Budget Detail s page again. Attachments Use the Attachments page to create attachments for the proposal. This page helps you keep track of documents that the researchers prepare, such as statements of objectives and methods, budgets, and personnel information. You can attach multiple documents to the proposal. ***NOTE: Only the Final Version of documentation should be attached to the proposal. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 16

17 Critical fields in the Upload Attachments section: Attachments File Attachment Select the icon to load an attachment. Attachment Name Categorize Checkbox This will automatically default to the file name **Only the FINAL VERSION should be attached Select this box This box is to be selected in order to select the type of file to be uploaded Categorize Drop Down Menu Additional Documentation Select the appropriate category that corresponds with the attachment Click the plus sign departments to add Select 'Ok' to load the attachements or 'Cancel' to exit the screen The Categories available are as listed below. Select the most appropriate category. Budget Narrative Budget Spreadsheet Cost Share Form Other PreAward Correspondence Proposal Request for Proposal Proposal Routing All proposals and pre-proposals which include budget information or a total cost estimate must be routed through the Office of Pre-Award for review and approval. By electronically signing the proposal, the project team member, department, school or college indicates that the proposal project has their approval. In order to submit your proposal you must verify the workflow map. Click on Preview from the Workflow Icon dropdown menu. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 17

18 1. By Default the project s Principal Investigator will be the first approver. Additional approvers and reviewers can be added before or after the PI as needed by clicking on the on either side of the PI. 2. Once you have all of the necessary reviewers and approvers in the correct order your proposal is ready to be submitted, simply click the Submit icon located at the top left of the screen. Note: The routing process is not complete until the ORED Office of Pre-Award has electronically signed the proposal. FIU Office of Research & Ecomonic Development Last saved on 6/22/2017 9:10:00 AM 18